VP RIA Advisory Compliance
Qualified candidates will have: excellent writing and verbal communication skills; a strong work ethic and a passion for high performance; self-motivation; high energy; excellent interpersonal skills; proficiency with PC applications and aptitude for learning a variety of systems; the highest standards of integrity and ethical judgment; and a minimum of 5 years relevant compliance experience, preferably at a major national or global securities firm or regulator.
Candidate must be familiar with the SEC and FINRA regulatory environment and requirements. Helpful experience or knowledge would include: regulatory agency or self-regulatory organization; front office or back office of a brokerage firm or investment adviser; work in a regulatory, compliance or business capacity in a retail, trading, operations, sales practices and branch supervision. An academic background or other training in financial services or securities regulation is preferred, as is a Series 7 license.
Work will involve all aspects of compliance support for a sophisticated full service brokerage and investment advisory business oriented toward high-net-worth non-institutional clients. Responsibilities will include:
- Advising business persons on regulatory and compliance requirements with respect to new business initiatives, utilizing innovative thinking and ability to develop solutions that meet the requirements
- Writing and reviewing Compliance policies and procedures
- Updating RIA Code of Ethics on an annual basis
- Developing and delivering RIA Training
- Maintaining Forms ADV Part I, Part 2A and 2B and coordinating and advising on issues related to mailings to new and existing clients
- RIA Annual Acknowledgement
- Providing ongoing support with respect to marketing reviews for RIA related materials, RFP's and customized performance reporting
- Providing support for BSO / RIA Surveillance on inquiries, issues, exceptions
- Providing ongoing advice and support for with respect to inquiries, manager applications, strategies and all other issues relating to the RIA business
- Conducting risk assessments
- Working with IA testing group on issues raised, prioritizing testing items, etc...
- Preparing written Annual Report for RIA and presenting findings
This position offers a well qualified candidate very competitive compensation and a superior benefits package, as well as opportunity for growth and advancement in a highly diversified and dynamic global financial services firm.
Leave a Reply
You must be logged in to post a comment.